PEMBROOK CAPITAL MANAGEMENT LLC
Adviser information for PEMBROOK CAPITAL MANAGEMENT LLC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 13 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6 | $534.8M |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $534.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 6 | $534.8M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesORIGINATION FEES |
Identifiers
| SEC RIA File Number | 801-73481 |
|---|---|
| SEC ERA File Number | 801-73481 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161420 |
| Legal Entity Identifier | None |
Principal Office
485 MADISON AVENUE22ND FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM- 5:00 PM
Tel: 212-906-8682, Fax: 212-906-8699
Websites
Chief Compliance Officer
MAXWELL BAKER
485 MADISON AVENUE
22ND FLOOR
NEW YORK
NY
United States
Tel:
610-467-5450
M******@**************M
(Full email address available in API data)
Regulatory Contact
STUART BOESKY
CHIEF EXECUTIVE OFFICER
485 MADISON AVE
22ND FLOOR
NEW YORK
NY
United States
Tel:
212-906-8682
S******@****************M
(Full email address available in API data)
Industry Affiliates
| PCI III MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PCI IV MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PEMBROOK MANAGEMENT HOLDINGS, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PCI III PREFERRED EQUITY ISSUER, LLC | Hedge Fund | $67.8M | $10.0M | 5 |
| PCI INVESTORS FUND III, LLC | Hedge Fund | $167.4M | $10.0M | 12 |
| PCI INVESTORS FUND IV, LLC | Hedge Fund | $123.2M | $10.0M | 5 |
| PCI IV PREFERRED EQUITY ISSUER, LLC | Hedge Fund | $60.1M | $10.0M | 6 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SJB ASSOCIATES, INC. | Domestic Entity | – | MAJORITY SHAREHOLDER | 12/2011 | 10-25% |
| BOESKY, STUART, JAY | Individual | SJB ASSOCIATES, INC. | SOLE OWNER | 12/2011 | > 75% |
| BOESKY, STUART, JAY | Individual | – | CHIEF EXECUTIVE OFFICER | 12/2006 | < 5% |
| BOESKY, STUART, JAY | Individual | SJB ASSOCIATES, LP | SOLE OWNER | 08/2013 | > 75% |
| SJB ASSOCIATES, LP | Domestic Entity | – | MINORITY SHAREHOLDER | 08/2013 | > 75% |
| MALYSA, JOHN, K | Individual | – | MANAGING DIRECTOR | 06/2022 | < 5% |
| Baker, Maxwell, Robert | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2023 | < 5% |